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NovWhat You Need to Know About “Selling Away”
What You Need to Know About “Selling Away” Posted by George Yacik, Contributor – on November 12th, 2014 A spate of recent high-profile incidents of “selling away” client assets – moving money off the broker-dealer custody and records platform — should have financial advisors and others who manage money on the alert. Even if you ...
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OctOCT Denver Post Coverage of Tom Martino Trial
The Denver Post recently covered one of my trials for Tom Martino. The article can be found here: The Denver Post recently covered one of my trials for Tom Martino. The article can be found here:…...
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OctDenver Post Coverage of Federal Rule 11 Motion
This is a recent article from the Denver post where my firm successfully defended a federal Rule 11. This is a recent article from the Denver post where my firm successfully defended a federal Rule 11…...
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JulKHOW Radio Appearances with Tom Martino, Consumer Advocate
Aaron Israels has recently become a guest speaker for Tom Martino’s exclusive Radio Show on Denver’s 630 KHOW Talk Radio. Tom Martino is a consumer advocate who has been fighting for consumer rights for more than 30 years. We respect his passion for helping consumers with various issues and Mr. Israels is honored to appear with him ...
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FebFINRA Seeks to Beef-Up Use of BrokerCheck
February 13, 2014 By Trevor Hunnicutt Investmentnews.com Finra on Thursday advanced a revised proposal that would require brokerage firms to include a link on their websites and other online communications to BrokerCheck, the database that includes broker disciplinary records. The Financial Industry Regulatory Authority Inc. would require brokerage firms to display links to BrokerCheck, “on ...
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JunIIED Defense Case in the Westword/Tom Martino
Successful Outcome for the Tom Martino case on summary judgment: http://blogs.westword.com/latestword/2013/01/tom_martino_bankruptcy_settlement_negotiations_lawsuit.php?page=2...
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MarCourt Ruling Goes Against Securities America
Investmentnews.com Late Friday afternoon, a federal judge in Dallas failed to approve a $21 million class action settlement between Securities America Inc. and clients suing the firm over private placement investments that went bust. The hearing for the proposed settlement was closely watched. As part of the proposed settlement, dozens of clients suing Securities America in ...
